Mid-Senior Financial Services Regulatory Associate Attorney

Profile

A law firm seeks a Mid-Senior Financial Services Regulatory Associate Attorney with specific qualifications and skills. Here's a comprehensive job description:

Job Overview:

The firm is seeking a talented attorney with 5-7 years of experience in broker-dealer regulatory matters. The ideal candidate will possess a Juris Doctor (JD) degree from an accredited law school, be admitted to the NY Bar, and have a proven track record of handling various aspects of broker-dealer regulatory compliance. This role requires strong analytical, research, and writing skills, as well as the ability to work effectively under pressure and manage time efficiently.

Duties:

• Provide legal counsel and support on all aspects of broker-dealer regulatory compliance.
• Conduct research and analysis on regulatory issues affecting financial services clients.
• Draft and review legal documents, including contracts, agreements, and regulatory filings.
• Advise clients on compliance with federal and state securities laws and regulations.
• Assist with regulatory examinations, investigations, and enforcement actions.

Requirements:

• 5-7 years of experience focused on broker-dealer regulatory matters.
• Meaningful experience from a major law firm is preferred.
• Juris Doctor (JD) degree (LLM or foreign equivalent) from an accredited law school.
• Admitted and in good standing to the NY Bar.
• Strong analytical, research, and writing skills.
• Ability to work well under pressure and manage time effectively.

Education and Certifications:

• Juris Doctor (JD) degree from an accredited law school.
• Admission to the New York State Bar.

Skills:

• Proficiency in legal research and analysis.
• Excellent written and verbal communication skills.
• Attention to detail and accuracy.
• Ability to work independently and collaboratively in a team environment.
• Knowledge of federal and state securities laws and regulations.

Job Location:

New York City, NY

Benefits offered:

• Discretionary bonus
• Paid leave
• Life, health, accident, and disability insurance
• 401(k) plan

Company info

BCG Attorney Search
125 Park Avenue, 25th floor
New York
New York
United States 10017
Phone : (212) 232-0277
Fax : (213) 895-7306